Our client a top tier international investment banking firm is seeking a Compliance Surveillance specialist to join their growing team. You will be responsible for monitoring trading across all asset classes to detect activities that could adversely impact the firm and its reputation. You will work closely with experienced staff to develop skills in high-quality surveillance.

Essential Duties and Responsibilities:
- Review and respond to alerts identified by the firm's trade surveillance platforms.
- Assess and enhance the current trade surveillance program to increase efficiency and compliance with regulatory standards and industry best practices.
- Assist in updating the firm's policies, procedures, and documentation related to the trade surveillance program.
- Review transaction reports for accuracy and take corrective actions as needed.
- Provide status updates and report reviews to senior compliance officers and key stakeholders.
- Contribute to the implementation of a third-party trade surveillance platform.
- Collaborate with IT teams to report and address improvement requests and bug fixes.
- Stay updated on regulatory changes, new regulations, and internal policy adjustments to identify new risk areas.
- Prepare responses to information requests from internal and external auditors or regulatory bodies.
- Perform other duties as assigned.

Qualifications:
- 3-5 years of experience in the financial services industry at a broker/dealer or regulatory agency (e.g., FINRA, SEC, CFTC), with a focus on surveillance and exposure to business, IT, operations, support, and control functions.
- Knowledge of rules and regulations governing bodies such as the SEC, FINRA, and applicable exchanges.
- Familiarity with Nasdaq Workstation (ACT), Consolidated Audit Trail (CAT), and FINRA TRAQS (ORF & TRACE).
- Understanding of best practices and surveillance procedures in securities industry compliance reviews.
- Strong organizational and delivery skills.
- Excellent written, verbal, and analytical skills, with the ability to communicate ideas clearly and persuasively.
- Self-starter with flexibility, innovation, adaptability, and strong attention to detail.
- Knowledge of QUOD OMS, TradingHub, BTCA, and/or Eventus Validus systems is a plus.

Educational Requirements:
- Bachelor's Degree (B.A./B.S.) in a related discipline is required.
- Advanced degree (MBA, J.D.) is a plus.
- Series 7, Series 57, Series 24, and/or Series 4 licenses/registrations are a plus.